DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••• S••••• A••••••• S•••••••
Legal name A••••• S••••• A••••••• S•••••••• L••
Latest filing Feb 17, 2026
First filing on the tape May 30, 2019 · 17 filings
SEC status approved since Jun 28, 2019
RAUM
$7.4M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$7.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$7.4M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$7.4M as of Feb 17, 2026
Mar 25, 2020$0 then
HNW client RAUM$0 as of Feb 17, 2026
Mar 25, 2020$0 then
State-registered IARs (5.B.3)1 as of Feb 17, 2026
Mar 25, 20201 then
Employees (5.A)4 as of Feb 17, 2026
Mar 25, 20203 then
Private funds: no history
RAUM +18% over the last fiscal year+43% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $7.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2,223derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3,147derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$7.4M100%
- Individual clients
- 2,223reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,352reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• S•••• D••••• | Boston, Ma | Aug 18, 2021 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• M•••• N•• · Svp Of Investment Programscontrolsince 10/2018 · owns less than 5%
- D••••• C••••••••• G••••• P•••••• · Managing Membercontrolsince 10/2018 · owns less than 5%
- V•••••••• F••••••••• E••••• · Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- D••••• C••••••••• G••••• P•••••• · Trusteecontrolsince 12/2016 · owns F of T•• D•••• F••••• I••••••••• T••••
- D••••• C••••••••• G••••• P•••••• · Ceocontrolsince 03/1993 · owns 75% or more of A••••• S•••••• I•••
Entity owners
- A••••• S•••••• I••• · Memberdirect · owns 75% or more
- T•• D•••• F••••• I••••••••• T•••• · Ownerindirect · owns 25% to 50% of A••••• S•••••• I•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Kentfield, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,012 to 2,352Feb 28, 2025 to Feb 17, 2026
- Individual clients · 1,996 to 2,223Feb 28, 2025 to Feb 17, 2026
- Discretionary RAUM · $5.6M to $6.8MFeb 28, 2025 to Feb 17, 2026
- Individual RAUM · $6.3M to $7.4MFeb 28, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $639,350 to $609,133Feb 28, 2025 to Feb 17, 2026
- RAUM · $6.3M to $7.4MFeb 28, 2025 to Feb 17, 2026
- Accounts · 3,342 to 2,012Mar 14, 2024 to Feb 28, 2025
- Advisory employees · 1 to 4Mar 14, 2024 to Feb 28, 2025
- Individual clients · 3,192 to 1,996Mar 14, 2024 to Feb 28, 2025
- Employees · 2 to 4Mar 14, 2024 to Feb 28, 2025
- Financial planning clients · unset to Mar 14, 2024 to Feb 28, 2025
- HQ city · BERKELEY to NAPERVILLEMar 14, 2024 to Feb 28, 2025
- HQ state · CA to ILMar 14, 2024 to Feb 28, 2025
- Other offices · 3 to 4Mar 14, 2024 to Feb 28, 2025
- Discretionary RAUM · $3.5M to $5.6MMar 14, 2024 to Feb 28, 2025
- Individual RAUM · $3.5M to $6.3MMar 14, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $2,025 to $639,350Mar 14, 2024 to Feb 28, 2025
- RAUM · $3.5M to $6.3MMar 14, 2024 to Feb 28, 2025
- Accounts · 3,921 to 3,342Sep 26, 2023 to Mar 14, 2024
- Advisory employees · 2 to 1Sep 26, 2023 to Mar 14, 2024
- Individual clients · 3,750 to 3,192Sep 26, 2023 to Mar 14, 2024
- Employees · 3 to 2Sep 26, 2023 to Mar 14, 2024
- State-registered IARs · 2 to 1Sep 26, 2023 to Mar 14, 2024
- Discretionary RAUM · $2.5M to $3.5MSep 26, 2023 to Mar 14, 2024
- Individual RAUM · $2.5M to $3.5MSep 26, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $0 to $2,025Sep 26, 2023 to Mar 14, 2024
- RAUM · $2.5M to $3.5MSep 26, 2023 to Mar 14, 2024
- Wrap assets (manager) · unset to 0.0Aug 22, 2023 to Sep 26, 2023
- Wrap assets (sponsor) · unset to 0.0Aug 22, 2023 to Sep 26, 2023
- Accounts · 2,145 to 3,921Oct 26, 2022 to Jan 18, 2023
- Individual clients · 2,079 to 3,750Oct 26, 2022 to Jan 18, 2023
- Employees · 4 to 3Oct 26, 2022 to Jan 18, 2023
- State-registered IARs · 3 to 2Oct 26, 2022 to Jan 18, 2023
- Other offices · 4 to 3Oct 26, 2022 to Jan 18, 2023
- Discretionary RAUM · $1.1M to $2.5MOct 26, 2022 to Jan 18, 2023
- Individual RAUM · $1.1M to $2.5MOct 26, 2022 to Jan 18, 2023
- RAUM · $1.1M to $2.5MOct 26, 2022 to Jan 18, 2023
- Accounts · 51 to 2,145Nov 15, 2021 to Feb 4, 2022
- Advisory employees · 1 to 2Nov 15, 2021 to Feb 4, 2022
- Individual clients · 51 to 2,079Nov 15, 2021 to Feb 4, 2022
Signals
3 dated events
- Katherine Tess Keppler (Chief Compliance Officer) no longer on Schedule A of A••••• S••••• A••••••• S••••••• (listed 2021-06-18, absent 2021-08-18)Aug 18, 2021 · Control person left · inference
- Elaina Francesca Visconti (Chief Compliance Officer) appeared on Schedule A of A••••• S••••• A••••••• S•••••••Aug 18, 2021 · Control person joined · fact
- A••••• S••••• A••••••• S••••••• filed its initial SEC registration (Form ADV)May 30, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 510-848-0606reportedpublic record, Form ADV, Feb 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $7.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026